Dharmik

The logical framework approach and the writing of proposals
March 25, 2003

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GENERAL REMARKS
What is a proposal?
A proposal is a crucial document: donors will decide whether or not to finance your project based on what you have written. Any proposal should reflect thoughtful planning
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Identify the project idea
Demand from the community
Project
Needs as defined by experts
Available resources
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Some recommendations
1.
Make sure that you are addressing a genuine problem and that you are equipped for it. Two-step approach:
1. First define your project thoroughly and in a
2.
participatory approach, 2. Then adapt your project proposal according to the targeted donor.
3.
Use the logical framework which is a method to design a project in a systematic and logical way .
LOGICAL FRAMEWORK APPROACH
What is a logical framework ?

The Logical Framework Matrix provides a summary of :

Why a project is carried out What the project is expected to achieve How the project is going to achieve it Which external factors are crucial for its success Where to find the information required to assess the success of the project Which means are required How much the project will cost
The Logical Framework Matrix
The logframe and the project cycle

* relevance and and fulfilment of objectives * outcome : how to use results in future programming * NGOs mandate * NGO thematic/geo. orientations * outcome : Programme strategy * pre-feasibility project studies * outcome : decision YES/NO
* the agreed resources are used to achieve the project purpose * reports / contract amendments * outcome : decision to continue as planned or re-orient the project
* all significant aspects of the idea are studied * outcome : logical framework * fundraising strategy * proposal writing for donors * outcome : financing contract(s)
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Organisations using the logframe

USAID, USA GTZ, Germany DfID, Great-Britain NORAD, Norway DANIDA, Denmark AUSAID, Australia Intercooperation, Switzerland
DGCS - Min. of For. Aff., Italy ICAX - Min. of Industry, Spain SIDA, Sweden UNIDO, Vienna FINNIDA - Min. of For. Aff., Finland HELLASCO, Greece WWF UNDP FAO
Ministry of Foreign Affairs, France Int. Federation of Red Cross DGCD, Belgium European Commission
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Advantages of the logical framework

Problems are analysed systematically The objectives are clearly formulated, logical and measurable The risks and conditions for success of a project are taken into account There is an objective basis for monitoring and evaluation
Your project proposal will be coherent

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The logical framework approach

Analysis phase
1.
Planning phase
4.
2.
3.
Problem analysis: identifying stakeholders, their key problems, constraints and opportunities, determining cause and effect relationships. Analysis of objectives: developing objectives from the identified problems, identifying the relationships between the means and the ends. Analysis of the strategy: identifying the different strategies to achieve objectives, determining the major objectives (overall objectives and project purpose or specific objective).
5.
6.
Logframe: defining the project structure, testing its internal logic and formulating objectives in measurable terms, determining means and cost. Activity planning: determining the sequence and the relation between the activities, estimating their duration , setting the main stages in the process, assigning responsibility. Resources planning: from the activity schedule, developing the input schedule and the budget.
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1. Problem analysis
1.
Identify the major problem faced by the beneficiaries Develop a problem tree Identify the stakeholders affected in the proposed project
2.
3.
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How to proceed with problem analysis ?

Identify key problems existing within a given situation (brainstorming) Select a starter problem Look for related problems to the starter problem Establish hierarchy of causes and effects
- problems which are directly causing the starter problem are placed below - problems which are direct effects of the starter problem are placed above
Complete with all other problems accordingly Review the diagram and verify its validity and completeness
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1. Problem analysis
Problem tree
Rice production is insufficient for the population of village x
EFFECTS
The irrigation system is faulty
Agricultural practices are unsuitable
The system receives no maintenance
Some irrigation structures have been destroyed
Support services for farmers are not available in the area
The farmers have no investment capacity
CAUSES
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1. Problem analysis
Identifying stakeholders
MACRO FAO MoA
Fertiliser suppliers Irrigation Dept.
NGO Farmers PRIVATE

Farmersgroups
Agric. Ext. services
MICRO
PUBLIC
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2. Analysis of objectives
Transforming Problems into Objectives
Rice production is insufficient for the population of village x
Rice production is sufficient for the population of village x
The irrigation system is faulty
Agricultural practices are unsuitable
The irrigation system is working
Agricultural practices are appropriate
The system receives no maintenance Some irrigation structures have been destroyed
Support services for farmers are not available Farmers do not have investment capacity
The system receives proper maintenance Damaged irrigation structures are repaired
Support services for farmers are available Farmers have the resources to invest 17
2. Analysis of objectives
Objectives tree
ENDS
The system receives proper maintenance
Damaged irrigation structures are repaired
Support services for farmers are available
Farmers have the resources to invest
MEANS
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3. Analysis of alternatives
Possible criteria to choose the intervention logic of your project among different project alternatives: Available resources (especially HR) Probability of achieving the project purpose and its results Cost Timeframe Risks
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3. Analysis of strategy
OVERALL OBJECTIVE SPECIFIC OBJECTIVE

(or project purpose)
The system receives proper maintenance
Damaged irrigation structures are repaired
Support services for farmers are available
Farmers have the resources to invest
EXPECTED RESULTS
CHOSEN STRATEGY
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4. The log-frame
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4. The log-frame
Levels of objectives
Overall Objective(s) Project Purpose Expected Results Activities
The broader impact(s) to which your project will contribute to, but will not enable to reach entirely The outcome of your project, what should be achieved at the enf of the project. Specific outputs which will contribute to the realisation of your project purpose Concrete activities that will be undertaken during the project
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4. The log-frame
Define objectively verifiable indicators (OVI):

!!! Do not make the confusion between criteria and indicators !!!
A criteria is for instance: number of , increase in Whereas an indicator is 150 persons per month , 34% of increase in
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4. The log-frame
Example of a good indicator Objective: The irrigation system is working The indicator should be SMART :
Specific = The irrigation pumps are functioning properly in the project area Measurable = 50 of the irrigation pumps are functioning properly in the project area Acceptable = Is the indicator accepted by all the partners involved in the implementation of the project ? Relevant = Are the irrigation pumps the main problem? Time-bound = 100% of the irrigation pumps are functioning properly in the project area at the end of the project
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4. The log-frame
Selection of sources of verification
Cost
Specialised surveys Interviews of beneficiaries
Adapted monitoring statistics Monitoring data Administrative / financial report Management report
Complexity
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4. The log-frame
Consider the various risks and assumptions on your project:

= external
factors that may affect the projects implementation and long-term sustainability = synergetic activities made by other actors
Do not define assumptions that are endogenous to the project and the scheduled activities !! Only mention relevant hypothesis
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4. The log-frame
Risks/Assumptions
Is the RISK important to your project?
Yes
What is its probability?
No
Ignore
Unlikely
Fairly Unlikely
Almost certain
Formulate an assumption
Can the project strategy be modified to eliminate the risk?
No
STOP the project
Yes
Modify strategy, add activities
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4. The log-frame
Intervention logic of project + Assumptions
IN OUT
Overall objective Project Purpose Results Activities
+ + +
Assumptions
Assumptions
Assumptions Pre-conditions
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If the activities are carried out, and if assumptions are valid, then ...
5. Activity-planning
Logical framework
Activities
Plan of action
Ye a r Mo n th Activity 1 Activity 2 Activity 3 Activity 4 1 2 Ye a r 1 3 4 5 6 etc.
By whom?
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5. Resource-planning
Plan of action
Yea r Mo nth Activity 1 Activity 2 Activity 3 Activity 4 1 2 Ye ar 1 3 4 5 6 etc.
By whom?
Means/Budget
Means: Human resources Material/ Equipment Travel etc.
Budget
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GROUP WORK
TIME FOR A SMALL GROUP EXERCISE!!
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The logical framework : Two case studies
Case study Bangladesh: Advocacy project in Bangladesh to promote the rights of persons with disabilities
Case Study Nepal Project in Nepal to provide orthopaedic appliances and services to disabled persons
Identify among the cards given: Goal (1) Project purpose (1) Expected results (4) Corresponding indicators for each (6) Assumptions (5) Group work: 15 minutes Presentation: 5 minutes32
10 frequently made errors in log-frame: Make sure to

1. 2. 3. 4. 5. 6. Have only one specific objective. Have a coherence in the hierarchy between objectives and results. Formulate objectives and results as they were already achieved. Define SMART indicators (no activity, no vague indicator like criteria). Do not transpose the activities as indicators of the results. Do not define indicators next to the general objectives (they are irrelevant in most cases). 7. Do not define sources of verification that are too expensive or impossible to get. In any case, if an expensive source of verification is mentioned, be sure to integrate it in the activities and within the budget. 8. Do not define hypothesis endogenous to the activities you should implement. 9. Next to activities, mention the means (HR and material) and the costs. 10. Do not forget pre-conditions
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WRITING PROJECT PROPOSAL
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Preliminary remarks
Proposal
= is often the only tool for the donor to assess your project (e.g. reject it or not) a proposal only when your project idea is already well defined! sure to stick to the donors criteria and values.
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Write
Be
Select the right funding source
DONOR S MANDATE: Which donor has a mandate compatible with your project ?
1. 2.
ex. Humanitarian aid versus development (ECHO versus EuropeAid) ex. Refugees (ex. Austcare)
DONORS PREFERENCES: What are your potential donors preferences?

Ex: Mines victims (Irish Aid)
SELECTION CRITERIA: How do donors evaluate project proposals and are you likely to be selected?
Existence of an evaluation grid ? Consortium required?, etc
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Package your project into an attractive proposal (1)
Follow a logical thread:

Background -> Problem -> Solution -> Sustainability
Ensure internal coherence between:

Problem - Objectives - Means
Many donors follow the LFA
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Package your project into an attractive proposal (2)

Coherence checklist Dont leave a problem unsolved Dont identify objectives that do not correspond to a problem Dont identify objectives for which you dont have appropriate means Dont propose activities that are not related to problems and objectives Dont list human resources that are disproportionate to the objectives you aim to achieve
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Package your project into an attractive proposal (3) Editing and layout
Pay attention to the language: - Use simple language - Use future tenses - Be concise and logical - Avoid spelling mistakes - Find a catchy title Pay attention to the layout/ presentation: - Use your organizations logo on the first page - Use headers and footers - Clear titles and paragraphs - Break the monotony - Add table of contents - Print on standard format paper
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General structure
1. 2. 3. 4. 5. 6. 7.
Executive summary Presentation of the organisation Project background Problem statement Goal and objectives Beneficiaries Proposed methodology:
Partners Project implementation Activities Risks and assumptions Means
1. 2. 3. 4.
Budget Monitoring and evaluation Sustainability Annexes

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1. Executive Summary
Executive summary 2. Presentation of the organisation 3. Project background 4. Problem statement 5. Goal and objectives 6. Beneficiaries 7. Proposed methodology 8. Budget 9. Monitoring and evaluation 10. Sustainability 11. Annexes
1.
Why is it important:
It is the first thing that is read Sometimes, it is the only thing
that is read
It can be used by the donor to

communicate about your project
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1.
Contents
What do you propose to do? Where? Why? For whom? With whom? For how long?
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1.
DO :
Write it only at the end Do it carefully Be concise

DONT :
Cut and paste

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2. Presentation of the organisation

1.
Why is it important?
Purpose: to establish credibility and image of a well-managed organization that meets critical needs in its area of work Should not be too long If you are approaching a new donor, attach in appendix a presentation brochure and/or the last activity report
Tips
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2. Presentation of the organisation

1.
Who are you? Philosophy/ mandate? History and significant interventions/track record Expertise in addressing the problem/need Organizational structure Major sources of support Affiliations/accreditations/ linkages

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Contents
3. Project Background
1.
Contents

Who took the initiative? Does the project fit into an existing development plan or programme? Is this the first phase of the project, or the continuation of an activity already undergoing? If this is the case, which have been the main result of the previous phase? What studies have been done to prepare the project? Who else operates in this field?
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3. Project Background
1.
Tips
You need to demonstrate that : The project arises from the beneficiaries and/or the local partners You know very well the local context You have the experience needed to run the project successfully You have been successful before
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4. Problem Statement
1.
Unless donors are convinced that there is a real problem, they will not agree to disburse money for our project ! A good problem should: concern people be concrete and demonstrated be solvable arise from a demand be an emergency or priority
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Tips
4. Problem Statement
1.
Description of the scope and magnitude of the problem What are the immediate causes of the problem? What are the underlying causes of the problem? What are the effects of the problem? How does it affect people? Why does it have to be addressed? Why now and not later?
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Contents
5. Goal and Objectives

1.
Goals (or overall objectives): Describes the long-term goals, your project will contribute to. Project Purpose or Specific Objective: Describes the objective of your project in response to the core problem. Expected Results: Describes the outputs or concrete results of your project.
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5. Goal and Objectives

1.
Objectives should be SMART:

S pecific = they must meet the needs

(problems) identified M easurable = they should be measured by concrete indicators which should reflect the extent to which they have been attained A cceptable = by all involved partners R elevant = they must be adequate to the project socio-cultural environment T ime-bound = must be reached by the end of the project
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6. Beneficiaries
1.
Contents
Clearly identify direct and indirect beneficiaries: Directly receiving support Indirectly benefiting How many? Where? Characteristics? Specify how and at what stage they will be involved in the project
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7. Proposed Methodology
1.
Contents

Partners Project implementation Activities Risks and assumptions Means
Indicates how objectives will be achieved
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1.
Partners:
Clearly distinguish between main partners and other partners Provide background information:
Goals/philosophy? Area of intervention? Relationship with beneficiaries? Cooperation track-record? Role in the project
Type of partnership you set up Specify each partners role

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1.
Project implementation:
Rationale for selecting a particular or unique methodology Project implementation structure: roles and responsibilities of all the project stakeholders
Use a chart to describe the project implementation structure

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Tip
1.
What will be done? How? By whom? Where? By when?
Activities:
Tips
Be as precise as possible Cluster activities by expected result Use a work plan to summarise
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1.
Example:
Training:

How many persons? For how long? Starting when? Which methodology will be used (seminars, in-house training, ad hoc courses, etc.) Why is the training necessary? Which new skills will the trainees acquire?
Ye a r Ye a r 1 5 Mo n th Activity 1 Activity 2 Activity 3 Activity 4 1 2 3 4 6 7
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1.
Risks are external factors that could potentially jeopardise your project and are beyond the control of the project management Assumptions are what you are supposing regarding those risks
Risks/Assumptions:
It helps assess the factors which could jeopardise your project It helps examining the project for completeness and consistency
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7. Proposed methodology
1.
Human resources: Explain the responsibilities and tasks of each key person in the project. Justify the need for expatriate personnel Material resources: Give an explanation of the most important budget lines Justify vehicles
Means:
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8. Budget
1.
Contents

Budget itself Budget explanations and justifications
Prepare it using your plan of action Dont inflate the budget Follow carefully donors requirements Disaggregate your budget for each year
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Tips
9. Monitoring& Evaluation
1.
Monitoring: to assess whether your project activities are on track Evaluation: to assess whether your project is effective, efficient, has an impact, is relevant, sustainable
Contents
What will be monitored and why? By whom? How often? Using which tools and methods?
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10. Sustainability
1.
Contents

Institutional sustainability Technical sustainability Socio-cultural sustainability Financial sustainability
Because donors want to be sure that their investment will not be lost at the end of the project and that you are already planning the phasing out of the project.
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11. Annexes
1.
Glossary Maps Statistics/ policy documents Proof of registration and tax benefits for donors Financial statement Composition of Board of Directors List of major donors Annual report, brochures & publications Specific studies or evaluation reports Memorandum of agreement with partners Letters of support Pictures Others...
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Contents
11. Annexes
1.
Tips
Refer to the annexes (see annex xy) in the proposal, but.... If something is crucially important, write it in the proposal! Add a table of content for the annexes Write the annex number on the top of each page annex nxy Separate each annex by a coloured page
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Proposal package
1.
Cover letter Project proposal:

Title page with logo Table of contents Executive summary Detailed proposal Annexes
(Use letterhead, mention project title, purpose, amount requested, contact person and list of enclosures)
1.
1.
Requested attachments
(Submit all documents requested by the donor which are not already included in the annexes)
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Final recommendation
Ask
someone exterior to the project to read it before any submission to a donor.
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CASE STUDY
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Case study: Laos project
Targeted donor: ECHO (European Community Humanitarian Office)

ECHO mandate: humanitarian and emergency actions
Context: Need of gap funding between two contracts with EuropeAid ( budget line B7-661 mines )
EuropeAid mandate: long-term development oriented
Project rationale: training of deminers in Laos, Savannakhet Province

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Version I: what would you change/improve ?

1. GENERAL INFORMATION Title of operation:Technical support for the maintenance of Lao National Unexploded Ordnance (UXO LAO) activities in Savannakhet. Province of Lao PDR while preparing the consolidation of a 24 month final phase of the project. Start-up date: March 2002.
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What was written in the final version
VERSION II:
VERSION 2
1. GENERAL INFORMATION Title of operation:Maintenance of Handicap International Technical Assistance to UXO Clearance Operations in Savannakhet Province, Lao PDR Start-up date: 01 March 2002
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VERSION 1 :Number of direct beneficiaries:

UXO Lao staff in Savannakhet Province. Currently UXO Lao assisted by HI have 160 deminers, surveyors, community awareness (CA) members and supporting staff in the province. The general population on the four most UXO affected districts of Savannakhet Province will also directly benefit of the clearance operations undertaken by UXO Lao. The quantitative outputs of UXO LAO Savannakhet in the key activities since the HI project started are: Area Clearance: Agriculture land cleared: 2,534,935m2 ( 58% of the total land cleared) Roving Tasks: Villages visited: 939 Community Awareness: Villages visited: 561 out of more than 625
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Number of direct beneficiaries:
The general population on the seven most UXO affected districts of Savannakhet Province will directly benefit of the clearance operations and awareness activities undertaken by UXO Lao. The direct beneficiaries are more specifically, the populations of the districts of Phine, Xepon, Vilabuly, Nong, Atsaphanthong, Phalan Xai and Atsaphone. The number of direct beneficiaries is estimated to over 22 000 people. The vast majority of the beneficiaries are subsistence farmers from ethnic minority groups in remote areas Through activities undertaken in this programme, the local population will benefit from improved land accessibility, improved land availability, a safer working and living environment and an improved ability to avoid accidents caused by unexploded ordnance. Equally, UXO LAO staff in Savannakhet Province is a direct beneficiary of this programme. Currently UXO Lao staff assisted by HI includes de-miners, surveyors, community awareness (CA) workers and support staff in the province. The number of beneficiaries equals 160 employees of UXO LAO. Through activities undertaken in this programme, UXO LAO employees will benefit from training aimed at safer, more efficient and more diverse unexploded ordinance identification, removal and destruction.
VERSION II:
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4.1. Overall objective(s) Phase 4 Transfer of knowledge, skills and capacities to UXO LAO Savannakhet in respect of the application of comprehensive national procedure across all aspects of the programme leading to the complete withdrawal of HI technical assistance. 4.2. Project purpose/ Specific objective To provide reduced technical support to UXO LAO Savannakhet for UXO area clearance and disposal in order to allow UXO LAO to maintain limited activities to national standards. This is an interim arrangement of six months that will allow limited continuity of operations for UXO LAO in Savannakhet until implementing partner funding becomes available. This will allow UXO LAO Savannakhet to conduct its full range activities (community awareness, survey, roving and area clearance) to national standards under the technical supervision of Handicap International technical advisor as described in the phase four financing proposal.
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VERSION II:
4.1. Overall objectives: The populations of Phine, Xepon, Vilabuly, Nong, Atsaphanthong, Phalan Xai and Atsaphone of Savannakhet Province, Lao PDR live in a safer environment. 4.2. Project purpose/ Specific objective: The negative impacts of UXOs in the districts of Phine, Xepon, Vilabuly, Nong, Atsaphanthong, Phalan Xai and Atsaphone of Savannakhet Province, Lao PDR are reduced.
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Checklist: all the good questions to bear in mind when drafting project proposal
1. Before writing the proposal:
problem ? partners and accepted ? mandate, criteria, around this proposal ? Is the stakeholder analysis done and complete ? Have I established a coherent objective tree and a concrete Have objectives, results and activities been discussed with all Do I know the donor to whom I will send my proposal (e.g. specific format, etc.)? Is there an internal organisation that has been set up within HI and does each person know her tasks ?
2.
When drafting the proposal:

activities/proposed results ad intended technical terms,
Is my proposal coherent (identified problem/suggested mean)? Is my proposal precise enough (e.g. explanation of expected activities, definition of SMART indicators)? Is my proposal understandable by everybody (not to much explanation of them, etc.)? Do I have really respected the donors criteria ? Have I put the information in the correct place ? Have I corrected all the spelling mistakes ?
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The logical framework approach and the writing of proposals

March 25, 2003

Identify the project idea

Demand from the community

Needs as defined by experts

LOGICAL FRAMEWORK APPROACH

What is a logical framework ?

The Logical Framework Matrix

The logframe and the project cycle

Organisations using the logframe

Advantages of the logical framework

Your project proposal will be coherent

The logical framework approach

How to proceed with problem analysis ?

The irrigation system is faulty

Agricultural practices are unsuitable

The system receives no maintenance

Some irrigation structures have been destroyed

Support services for farmers are not available in the area

The farmers have no investment capacity

NGO Farmers PRIVATE

Rice production is insufficient for the population of village x

Rice production is sufficient for the population of village x

The irrigation system is faulty

Agricultural practices are unsuitable

The irrigation system is working

Agricultural practices are appropriate

The irrigation system is working

Agricultural practices are appropriate

The system receives proper maintenance

Damaged irrigation structures are repaired

Support services for farmers are available

Farmers have the resources to invest

Rice production is sufficient for the population of village x

OVERALL OBJECTIVE SPECIFIC OBJECTIVE

The irrigation system is working

Agricultural practices are appropriate

The system receives proper maintenance

Damaged irrigation structures are repaired

Support services for farmers are available

Farmers have the resources to invest

Define objectively verifiable indicators (OVI):

Consider the various risks and assumptions on your project:

Can the project strategy be modified to eliminate the risk?

Overall objective Project Purpose Results Activities

Means: Human resources Material/ Equipment Travel etc.

TIME FOR A SMALL GROUP EXERCISE!!

The logical framework : Two case studies

10 frequently made errors in log-frame: Make sure to

WRITING PROJECT PROPOSAL

Select the right funding source

DONORS PREFERENCES: What are your potential donors preferences?

Package your project into an attractive proposal (1)

Follow a logical thread:

Ensure internal coherence between:

Many donors follow the LFA

Package your project into an attractive proposal (2)

Budget Monitoring and evaluation Sustainability Annexes

It can be used by the donor to

Write it only at the end Do it carefully Be concise

Cut and paste

2. Presentation of the organisation